annex a key corporate risk ... - democracy.york.gov.uk

ANNEX A KEY CORPORATE RISK REGISTER AT SEPTEMBER 2021

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KCR 1 FINANCIAL PRESSURES: The ongoing government funding cuts and more recently the impact of Covid will continue to have an impact on council services. Over the course of the last 10 years there has been a substantial reduction in government grants leading to significant financial savings delivered. The council needs a structured and strategic approach to deliver the savings in order to ensure that any change to service provision is aligned to the council’s key priorities. In addition other partner organisations are facing financial pressures that impact on the council.

Risk Detail (cause) Implications (consequence) Gross Likelihood

Gross Impact

Controls Net Likelihood

Net Impact

Direction of Travel

Risk Owner and Actions

Reduction in government grants leading to the necessity to make savings Increased service demand and costs (for example an aging population). Financial pressures on other partners that impact on the council The spending review is one year only for 2021/22 (NEW) and 22/23. Financial impact of Covid- 19 on Council budgets Financial impact of Covid-19 on the economy as a whole Lack of resources to fully utilise Covid-19 government funding within set timescales, which are very short

Potential major implications on service delivery Impacts on vulnerable people Spending exceeds available budget Lack of long term funding announcements from central government creates uncertainty which hinders long term financial planning Lack of long term funding announcements from central government may impact on staff retention as it creates uncertainty for temporary posts funded by external funding Covid-19 will result in additional expenditure pressures (eg. Staff, PPE) and a shortfall in income (eg parking, commercial property), which are unlikely to be fully reimbursed by central government. This will result in potential short term

Highly Probable

Major

(21)

Regular budget monitoring Effective medium term planning and forecasting Chief finance officer statutory assessment of balanced budget Regular communications on budget strategy and options with senior management and politicians Skilled and resourced finance and procurement service, supported by managers with financial awareness Ongoing analysis of implications of Covid-19 through budget monitoring and realignment of resources Robust recording of Covid 19 expenditure for MHCLG should increase likelihood of receiving the maximum reimbursement from central government Financial Strategy 2021/22 approved Climate change mitigation and adaptation programme

Probable Major

(20)

No change Development of budget strategy for 2022/23 (Debbie Mitchell, 31/01/2022)


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Gross Impact


Net Impact

Direction of Travel


Increased severity and frequency of climate hazard events (e.g. flooding)

budget pressures which will need to be mitigated by a reduction or reprioritisation of spending or use of reserves. In the long term additional savings will be required and use of reserves will reduce our financial resilience An economic downturn will affect the Council’s main sources of funding; reducing business rates income if premises are vacant and reducing council tax income if more individuals require support due to unemployment. Increased cost of responding to emergency situations, as a result of climate change, and impact on service delivery.


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KCR 2 GOVERNANCE: Failure to ensure key governance frameworks are fit for purpose. With the current scale and pace of transformation taking place throughout the organisation it is now more important than ever that the council ensures that its key governance frameworks are strong particularly those around statutory compliance including information governance, transparency and health and safety.


Gross Impact


Net Impact

Direction of Travel


Increased interactions in relation to FOIA and transparency Failure to comply with data protection and privacy legislation Serious breach of health and safety legislation Failure to comply with statutory obligations in respect of public safety The initial response to Covid-19 required the Council to put in place urgent decision making guidance to ensure that decisions could be made rapidly, although there was no government guidance until 4 April. Response to Covid-19 has resulted in the requirement to conduct remote decision making meetings. NEW: The actions to rectify governance weakness agreed by Council in May

Increases in cases held or fines levied by Information Commissioner Failing to meet the legal timescales for responding to FOIA may result in reduced confidence in the council’s ability to deal with FOIA and in turn, its openness and transparency Individuals will be at risk of committing criminal offences if they knowingly or recklessly breach the requirements of the GDPR legislation. Potential increased costs to the council if there are successful individual claims for compensation as a result of a breach of GDPR legislation. Impact on the end user/customer Public and staff safety may be put at risk Possible investigation by HSE

Probable Major (20)

Electronic Communication Policy IT security systems in place Governance, Risk and Assurance Group (GRAG) covers a wide range of governance issues, including Covid-19 impacts Ongoing Internal Audit review of information security Health and Safety monitoring in place Regular monitoring reports to Audit & Governance committee and Executive Member decision sessions Open Data platform providing Freedom of Information (FOI) requested data Regular review of transparency code legislation and compliance Ongoing management of data architecture to provide de-personalised data to open data platform

Possible Major (19)

New risk, control and action

Review of Council constitution underway, to report to A&G and Council (Janie Berry 31/12/21) Delivery of a comprehensive member development and training programme covering all aspects of governance and decision making. To include the constitution, safeguarding, information security. (Janie Berry 31/12/21) Member training in respect of the Code of Conduct and conflict of interests. (Janie Berry, 31/10/21) – REVISED DATE Complete actions in response to the April 2021 PIR as agreed by Council in May 2021 (Janie Berry 31/12/21) – REVISED DATE


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Gross Impact


Net Impact

Direction of Travel


2021 in response to the Public Interest Report (PIR) issued in April 2021 will not be achieved.

Prohibition notices might be served preventing delivery of some services Prosecution with potential for imprisonment if Corporate Manslaughter Adverse media/ social media coverage Reputational impact Risk of litigation against any decisions taken during the ‘emergency’ Covid-19 period, although this reduces as time lapses NEW: Failure to get sign off of statutory accounts (for governance reasons) if the actions agreed in the PIR report are not complete

Public Protection Annual Control Strategy Additional resource, training and improved processes to deal with FOIA requests All officer and delegated decisions are reported publicly to Executive/ A&G to ensure transparency Ongoing Health and Safety Training programmes at all levels Ongoing regular review of internal audit reviews and recommendations SIRO role has changed to Director of Governance and the relationship between the Senior Information Risk Officer (SIRO) and the Caldicott Guardian is being strengthened Customer Complaints toolkit has been reviewed and reports to A&G Governance training provided for Directors Process for consistent completion of Data Protection


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Gross Impact


Net Impact

Direction of Travel


Impact Assessments (DPIA) has been circulated across the council NEW: The LGA will review and report on the achievement of PIR actions in December 22


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KCR 3 EFFECTIVE AND STRONG PARTNERSHIPS: Failure to ensure partnership arrangements are fit for purpose to effectively deliver outcomes. In order to continue to deliver good outcomes and services, the council will have to enter into partnerships with a multitude of different organisations whether they are public, third sector or commercial entities. The arrangements for partnership working need to be clear and understood by partners to ensure they deliver the best possible outcomes.


Gross Impact


Net Impact

Direction of Travel


Failure to effectively monitor and manage partnerships Partner (especially NHS, Academies) financial pressures may affect outcomes for residents Unilateral decisions made by key partners may effect other partners’ budgets or services Financial pressure on York Teaching Hospitals NHS Foundation Trust (YTHFT) and Vale of York Clinical Commissioning Group (VOYCCG), which may have worsened further due to Covid-19

Key partnerships fail to deliver or break down Misalignment of organisations’ ambitions and direction of travel Ability to deliver transformation priorities undermined Adverse impact on service delivery Funding implications Reputational impact

Probable Major (20)

Account management approach to monitoring key partnerships. CMT identified the 60 organisations who have the most potential to influence or affect organisational aims and priority outcomes for residents, and monitors on a quarterly basis. Each Corporate Director and the Chief Executive lead on specific relationships. Internal co-ordination such as Creating Resilient Communities Working Group (CRCWG) meet regularly to understand which areas of the council are working with different partners and what is happening across these agendas. There were many positive examples that partnerships worked well together in the event of the Covid-19 emergency and successfully deals with issues; eg. the Outbreak Management Board is a non- decision making body which meets regularly; the YCAB partnership; collaboration with DoE

Possible Moderate (14)

No change No current actions


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KCR 4 CHANGING DEMOGRAPHICS: Inability to meet statutory duties due to changes in demographics. York has a rapidly changing demographic in relation to both residents and business. This brings with it significant challenges particularly in the delivery of adult social care and children’s services. The council needs to ensure that community impacts are planned for and resourced.


Gross Impact


Net Impact

Direction of Travel


Development and regeneration makes York more desirable and accessible to residents, students and business, resulting in increasing inward migration to York. An increase in the aging population requiring services from the council Increase in complexity of needs as people get older Increase in people living with dementia Increase in ethnic diversity of the population means that the council has to understand the needs of different communities in relation to how services are delivered Growing number of people with SEND or complex needs living into adulthood

Increased service demand from residents, including; statutory school placements, SEND, mental health, adult social care and environmental services (eg waste collection) Increased service demand in relation to business (eg Regulation, Planning) Impact of additional demands cause significant financial and delivery challenges, such as a rise in delayed discharges Reputational impact as these mainly impact high risk adult and children’s social care service areas Unable to recruit workers in key service areas eg care worker To ensure that decisions made in relation to Covid- 19 are taken with a recognition of the different impacts on certain demographics

Probable Major (20)

Place planning strategy to ensure adequate supply of school places DfE returns and school population reported every 6 months Local area working structures in frontline services, including Early intervention initiatives and better self-care Assessment and Care management review complete, to better manage adult social care demand on CYC based on community led support Advice and Information Strategy complete, to provide residents with direct access to support and services, to better manage adult social care demand on CYC, resulting in the launch of Livewell York Investment in support brokerage work with NHS integrated commissioning Stakeholder and officer group, to create a more connected and integrated health and social care system. Officer caseload monitoring

Possible Major (19)

No change No current actions


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Gross Impact


Net Impact

Direction of Travel


Demographic of workforce supply unable to meet workforce demand Failure to plan for the impact of a rapid change in demographics to front line service provision The impact of Covid-19 may disproportionately affect certain demographics; eg BAME and the older community are more likely to suffer health issues, blue badge holders affected by city centre changes, younger people by job losses The impact of Covid-19 accentuates the risk of widening inequalities

Internal co-ordination such as Creating Resilient Communities Working Group (CRCWG) York Skills Plan The Education Planning Team have completed a review of demographic data to determine the impact on schools Community Impact Assessments are carried out before decision making Redesign and implementation of new arrangements for early help and prevention Ongoing analysis of the Local Plan and Major development projects demographic data to determine the impact on all CYC services.


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KCR 5 SAFEGUARDING: A vulnerable child or adult with care and support needs is not protected from harm. Ensuring that vulnerable adults and children in the city are safe and protected is a key priority for the council. The individual, organisational and reputational implications of ineffective safeguarding practice are acute.


Gross Impact


Net Impact

Direction of Travel


Failure to protect a child or vulnerable adult from death or serious harm (where service failure is a factor) Potential for an increased demand on Children’s and Adult services after Covid-19 measures are lifted

Vulnerable person not protected Children's serious case review or lessons learned exercise Safeguarding adults review Reputational damage Serious security risk Financial implications, such as compensation payments Financial and resource implications of an increase in demand once the Covid 19 measures are lifted

Probable Major (20)

Safeguarding sub groups Multi agency policies and procedures Specialist safeguarding cross sector training Quantitative and qualitative performance management Reporting and governance to lead Member, Chief Executive and Scrutiny Annual self assessment, peer challenge and regulation Audit by Veritau of Safeguarding Adults processes Children's and Adults Safeguarding Boards (LSCB & ASB) Ongoing inspection preparation & peer challenge National Prevent process DBS checks and re-checks Effectively resourced and well managed service

Possible Major (19)

No change No actions


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Gross Impact


Net Impact

Direction of Travel


Annual Safeguarding Board annual plan Controls implemented from peer review action plan Chief Officer Group which brings together Chief Officers from relevant organisations in relation to safeguarding eg police, CYC Children's Social Care records system is upgraded. This is monitored by a project board. Ongoing development is planned and awaiting costings. Ongoing work to ensure capacity is assured to enable any increase in demand to be met after Covid-19 restrictions are lifted Use of different methods of contact methods for vulnerable children, such as facetime, alongside working with the DoE and Ofsted Improvement Plan for Children’s social care in place since 2020 Improvement Plan for Adult Social Care to address current budget pressures in place May 2021


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KCR 6 HEALTH AND WELLBEING: Failure to protect the health of the local population from preventable health threats through preventable control measures.


Gross Impact


Net Impact

Direction of Travel


Failure to protect the health of citizens against preventable disease by ensuring appropriate levels of vaccination, immunisation and screening. Failure to demonstrate we are meeting the new responsibilities from central government which include;

Outbreak control plan

Governance structure

Independent assurance process

Government policy in relation to Covid-19 may prioritise the economy over public health and lift restrictions too soon The impact of the non or late diagnosis of health issues due to the impact of Covid-19 on health services.

Likelihood of mass disease outbreaks Late diagnosis & delay in treatment of health conditions that could be identified earlier through routine screening e.g. breast & cervical cancer, diabetic sight loss Reduction in life expectancy

Probable Major (20)

Liaison with NHS and Public Health England and development of plans to be able to make a large scale response e.g. Mass Treatment Plan. Health Protection Board recently established with good engagement across partners in local and regional meetings. Annual Health Protection Report to the Health and Wellbeing Board and Health & Adult Social Care Policy and Scrutiny Committee CYC Director of Public Health is co-chair with NHS England of the North Yorkshire & York Local Health Resilience Partnership. Internal audit of health protection governance has been completed giving reasonable assurance. Mass vaccination programme for flu and Covid The main focus of health protection since February 2020 being the public health response to the coronavirus pandemic. The Director of Public Health is leading the York response. An Outbreak Management Advisory Board

Probable

Moderate (15)

No change

The COVID-19 outbreak prevention, management and response will continue to be the main focus throughout 2021/22 and until the pandemic is declared over. The Outbreak Control Plan is due for review in March 2022 (Sharon Stoltz, 31/3/22)


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Gross Impact


Net Impact

Direction of Travel


Failure to protect citizens from the adverse impacts of climate change

has been established together with a governance structure to oversee this work. The lessons learned from the peer review have been incorporated into the COVID-19 Outbreak Control Plan The publication of the 2020 Director of Public Health Annual Report includes a focus on health protection including the response to COVID-19. Climate change mitigation and adaptation programme


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KCR 7 CAPITAL PROGRAMME: Failure to deliver the Capital Programme, which includes high profile projects. The capital programme currently has a budget of £546m from 2021/22 to 2025/26. The schemes range in size and complexity but are currently looking to deliver two very high profile projects, Castle Gateway and York Central, which are key developments for the city.


Gross Impact


Net Impact

Direction of Travel


Complex projects with inherent risks Large capital programme being managed with reduced resources across the Council Increase in scale of the capital programme, due to major projects and lifting of borrowing cap for Housing Reduction in expenditure required due to budget pressures as a result of Covid-19 may reduce future capital programmes

Additional costs and delays to delivery of projects The benefits to the community are not realised Reputational Damage Pausing or stopping projects as a result of Covid-19 may create some compliance issues and may mean that existing projects require extensions

Probable Major (20)

Project boards and project plans Regular monitoring of schemes Capital programme reporting to Executive and CMT Financial, legal and procurement support included within the capital budget for specialist support skills Project Management Framework Additional resource to support project management Capital Strategy 2021/22 to 2025/26 approved in Feb 2021 Capital Programmes are sufficiently staffed to deliver to timescales Internal Audit Report gave reasonable assurance on project management arrangements Ongoing procurement and legal review to highlight any issues which may arise as a result of pausing projects due to Covid-19


No change

Development of capital strategy for 2022/23 (Debbie Mitchell, 31/01/2022)


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KCR 8 LOCAL PLAN: Failure to develop a Local Plan could result in York losing its power to make planning decisions and potential loss of funding. The council has a statutory duty to develop a Local Plan, a city wide plan, which helps shape the future development in York over the next 20 years. It sets out the opportunities and policies on what will or will not be permitted and where, including new homes and businesses. The Local Plan is a critical part of helping to grow York’s economy, create more job opportunities and address our increasing population needs.


Gross Impact


Net Impact

Direction of Travel


Failure to agree and adopt a Local Plan for the City. The Draft Local Plan has started but not completed the Examination stage. There remains a risk that if the Plan fails this stage more work may be required and / or the plan has to be withdrawn by Council and submitted again after the evidence base has been updated. In these circumstances the overall risk score remains unchanged.

The Local Plan Examination process continues and the policies in draft Local Plan is a “material planning consideration” in the consideration and determination of planning applications. Development proposals which are not in accordance with the Draft Plan may continue to be submitted as planning applications, resulting in refusals of planning permission and an increase in planning appeals. An “adopted” Local Plan following the Examination by the Planning Inspectors would carry greater weight than the draft Plan. There may be a negative impact on the council's strategic economic goals and may have an adverse impact on investment in the city until there is an adopted Local Plan which provides greater direction through land use allocations and policies

Probable Major (20)

The Plan is at the Hearing stage of the Examination Process (which commenced Dec 2019) and the final outstanding evidence was submitted to Inspectors on 30 April 2021. 6 week formal public consultation launched on 25 May 2021 Resource requirements planned and in place to ensure sufficient resource to deliver the plan (further details in Monitor 1 2021/22 report to A&G – Annex B para 13) The plan following national guidance, good practice and specialist legal advice. Continued close liaison with:

MHCLG,

Planning Advisory Services

Planning Inspectorate

The appointed planning Inspectors.

The Local Plan Working Group (LPWG) , the Executive and full Council have all been engaged in the plan making process at appropriate

Possible Major (19)

No change

Ongoing action: Monitoring of controls (Neil Ferris, 31/03/2022)


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Gross Impact


Net Impact

Direction of Travel


which guide and direct development. For some major planning applications which may be supported by the Council the development processes and decision making is slowed down by need to refer application to the Secretary of State for Housing, Communities and Local Government for consideration as to whether a Public Inquiry should be held or not. Central government (Ministry of Housing Communities and Local Government) have already identified York as a high priority to produce a Local Plan. The failure to prepare and produce a Local Plan in accordance with the timescale accepted by central government could possibly result in action from the Secretary of State for Communities and Local Government to directly intervene in the plan making process.

stages and before submission of Draft Local Plan for Examination. Corporate Director for Place and Assistant Director weekly monitoring / management of the process Additional resources to ensure delivery within timescales


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KCR 9 COMMUNITIES: Failure to ensure we have resilient, cohesive, communities who are empowered and able to shape and deliver services. The council needs to engage in meaningful consultation with communities to ensure decisions taken reflect the needs of residents, whilst encouraging them to be empowered to deliver services that the council is no longer able to do. Failing to do this effectively would mean that services are not delivered to the benefit of those communities or in partnership.


Gross Impact


Net Impact

Direction of Travel


Failure to effectively engage with the communities we serve Failure to contribute to the delivery of safe communities Failure to effectively engage stakeholders (including Members and CYC staff) in the decision making process Failure to manage expectations Communities are not willing/able to fill gaps following withdrawal of CYC services Lack of cohesion in the planning and use of CYC and partner community based assets in the city

Lack of buy in and understanding from stakeholders Alienation and disengagement of the community Relationships with strategic partners damaged Impact on community wellbeing Services brought back under council provision – reputational and financial implications Budget overspend Create inefficiencies Services not provided Poor quality provision not focused on need, potential duplication, ineffective use of resources, difficulty in commissioning community services e.g. Library services

Probable Major (20)

Creating Resilient Communities Working Group (CRCWG) New service delivery models, including Local Area Teams. Local Authority Co-ordination Neighborhood Working Revised Community Safety Plan Devolved budgets to Ward Committees and delivery of local action plans through ward teams Improved information and advice, Customer Strategy and ICT support to facilitate self service CYC Staff and Member training and development The July 2019 supplementary budget provided additional resources to the safer community fund and community engagement officer Community Safety Strategy approved on 2 March 2020 covering the period 2020-2023 Community Hubs set up to distribute food and medicine and provide shielding support

Possible Major (19)

No change

No actions


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Gross Impact


Net Impact

Direction of Travel


Helpline – phone and inbox 7 days a week including bank holidays Covid-19 crisis funds to help the financially vulnerable New role of the Community hubs as agreed in Oct 2020 New management structure (Mar 2021) appoints Director Of Customers and Communities Community Engagement Strategy published


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KCR 10 WORKFORCE/ CAPACITY: Reduction in workforce/ capacity may lead to a risk in service delivery. It is crucial that the council remains able to retain essential skills and also to be able to recruit to posts where necessary, during the current periods of uncertainty caused by the current financial climate and transformational change. The health, wellbeing and motivation of the workforce is therefore key in addition to skills and capacity to deliver.


Gross Impact


Net Impact

Direction of Travel


The necessity to deliver savings has resulted in a reduced workforce requiring new and specialist skills Recruitment and retention difficulties as the council may be seen as a less attractive option than the private sector Lack of succession planning HR Policies may not be consistent with new ways of working (eg remuneration policy) Uncertainty around long term funding from central government. Staff with EU citizenship may leave Adjustment to the new ways of working as a result of Covid-19 eg home

Increased workloads for staff Impact on morale and as a result, staff turnover Inability to maintain service standards Impact on vulnerable customer groups Reputational damage Single points of failure throughout the business Lack of long term funding announcements from central government may impact on staff retention as it creates uncertainty for temporary posts funded by external funding Potential recruitment issues if staff with EU citizenship leave and are difficult to replace.

Probable Major (20)

Organisational Development Plan (replaces Workforce Strategy/ People Plan) Stress Risk Assessments PDRs Comprehensive Occupational Health provision including counseling HR policies e.g. whistleblowing, dignity at work Development of coaching/ mentoring culture to improve engagement with staff Corporate Cost Control Group monitoring of absence and performance reporting Apprenticeship task group Agency and Interim Staffing Policies Absence Management Policies Substance Misuse Policy


New control

Ongoing action: Review of HR policies to ensure they complement the new ways of working in the future (Helen Whiting, 31/03/22)


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Gross Impact


Net Impact

Direction of Travel


working, use of PPE, increased lone working due to need to social distance Additional workload due to Covid-19 Reduction in posts due to restructures required to achieve budget savings

Impact on the health & wellbeing of staff has been and will be significant and may increase early retirements and leavers. Due to

Remote working (working from home) can have a negative impact on wellbeing.

Work life balance – unable to separate work from home due to work being carried out within the home

Juggling childcare and working hours

Supporting home schooling for children

However many staff may see an increase in their Health & Well Being due to more agile working. Having greater flexibility between work and home life. As we are able to start returning to the office in a covid secure way it is expected that this will have an increase in Health & Well Being. Although it should be noted staff absence figures have fallen during this period. More agile and flexible working may also result in increased retention of staff

The council has signed up to a pledge to become a Time to Change Employer with a focus on mental health. As this changes from Time to Change we are looking at the continued mechanisms to support good mental health. A Workplace Health & Wellbeing Group has been established with staff & trade union representation which is chaired by the Head of HR. A staff health & wellbeing survey has been undertaken & this is being followed up by staff focus groups. Increase in regulatory compliance to protect the workforce eg Health and Safety regulations, working time directives Increase in Living wage Engagement with staff that had concerns about the EU settlement Scheme for European Citizens and offer of support through York Learning, Registrars and Citizens’ Advice Bureau Joint Health and Safety Board and regular review of support for staff Vacancy Control Group set up as a result of budgetary savings and to mitigate any compulsory redundancies


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Gross Impact


Net Impact

Direction of Travel


and increase the attraction of candidates for vacant positons.

Improved frequency of informal and formal meetings with Trade Unions to improve communications and relationships Staff questionnaire about returning to the workplace and impact on their health & well being Increased help and awareness of staff wellbeing and mental health as a result of the new ways of working including Covid secure workspace, provision of PPE, establishment of office readiness group, regular communication and information sessions, advice, risk assessments, help with home office and ICT equipment, absence systems, symptom free testing and vaccinations, close working with Public Health. NEW: Business Continuity Planning to assist with redeployment of staff or reduction of service during times of shortage eg HGV drivers


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KCR 11 EXTERNAL MARKET CONDITIONS: Failure to deliver commissioned services due to external market conditions. The financial pressures experienced by contracted services (in particular Adult Social Care providers) as a result of increases to the living wage and Covid-19 could put the continued operation of some providers at risk. The Council has a duty to ensure that there is a stable/diverse market for social care services delivery to meet the assessed needs of vulnerable adults/children. Some services provided by the Council cannot be provided internally (eg Park and Ride) and must be commissioned. External market conditions such as the number of providers willing to tender for services may affect the Council’s abilty to deliver the service within budget constraints.


Gross Impact


Net Impact

Direction of Travel


Increases to the national living wage. Recruitment and retention of staff If failure occurs, the Council may remain responsible for ensuring the needs of those receiving the service continue uninterrupted. Providers may go out of business as a result of Covid-19 Many sectors under financial pressure due to Covid-19 (reductions in income or increase in expenditure)

Vulnerable people do not get the services required or experience disruption in service provision Safeguarding risks Financial implications: Increased cost of alternative provider Increased cost if number of providers are limited Reputational damage

Unlikely Major (18)

Clear contract and procurement measures in place Ongoing review of operating and business models of all key providers and putting further mitigation in place, such as more robust contract monitoring and commissioning some ‘enhanced’ credit checks CYC investment in extra care OPHs has reduced recruitment pressure Revised SLA with independent care group and quarterly monitoring meetings with portfolio holder Increase in homecare fees to reflect actual cost of care Local policies in place for provider failure Short term financial assistance from Covid-19 pressures through supplier reliefs and government grants to business Ongoing attendance at Independent Care Group Provider Conference

Unlikely Moderate (13)

New control and action

NEW: Latest Market Position Statement will be available late 2021 (Jamaila Hussein 31/12/21)


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Gross Impact


Net Impact

Direction of Travel


Director of Commissioning post will improve proactive efforts in market development and market shaping The Council’s market position statement is regularly reviewed NEW: Adoption of the ‘team around the home’ approach undertaken jointly with Public Health colleagues, supporting providers (in particular during the pandemic)


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KCR 12 MAJOR INCIDENTS: Failure to respond appropriately to major incidents. Local Authorities are required by law to make preparations to deal with emergencies. Local Authorities have four main responsibilities in an emergency 1. to support the Emergency Services, 2. to co-ordinate non-emergency organisations, 3. to maintain their own services through a robust Business Continuity Management process and 4. to facilitate the recovery of the community. The Council must ensure that its resources are used to best effect in providing relief and mitigating the effects of a major peacetime emergency on the population, infrastructure and environment coming under it’s administration. This will be done either alone or in conjunction with the Emergency Services and other involved agencies, including neighbouring authorities.


Gross Impact


Net Impact

Direction of Travel


An uncoordinated or poor response to a major incident such as:

Flood

Major Fire

Terrorist Attack

Civil Unrest in relation to political issues such as Brexit

Local lockdown due to Covid-19

Failure to protect citizens from the adverse impacts of climate change

Serious death or injury Damage to property Reputational damage Potential for litigation Potential for corporate manslaughter charges if risks are identified and proposed actions not implemented Reduction in life expectancy

Probable Catastrophic (24)

Emergency planning and Business Continuity Plans in place and regularly reviewed Strong partnerships with Police, Fire, Environment Agency and other agencies Support to Regional Resilience forums Support and work in partnership with North Yorkshire local resilience forums Investment in Community Resilience (re Flooding) Work with partners across the city to minimise the risk of a terrorist attack Implemented physical measures for certain events Review of city transport access measures

Possible Major (19)

No change Ongoing action: Regular review of emergency and business continuity plans (Neil Ferris, 31/3/22) Improvements to enhance flood protection (The Environment Agency)


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Gross Impact


Net Impact

Direction of Travel


Development of the local outbreak control plan and a variety of internal recovery strategies Climate change mitigation and adaptation programme

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